DENISE JEAN CLARK

DENISE JEAN CLARK is currently employed as a Broker and/or Investment Adviser at THRIVENT INVESTMENT MANAGEMENT INC. located at 3388 KENNEDY CIR, DUBUQE, IA, 52002.

DENISE JEAN CLARK has worked at THRIVENT INVESTMENT MANAGEMENT INC. since June 13, 2016

Disclosure History

DENISE JEAN CLARK has 2 Disclosure Event(s).

Date: April 24, 2015
Category: Financial
Type: Settlement
Disposition: Satisfied/Released

Date: June 01, 2011
Category: Financial
Type: Settlement
Disposition: Satisfied/Released
Broker Comment: For both settlements, they came about due to several years of very high medical bills in the family and the fact that I was not working full time.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DENISE JEAN CLARK, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.